Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

2016-07-14 113 16 2016-03-28 2016-04-01 Securities Act of 1933 33 10061 10061 Securities Exchange Act of 1934 34 77454 77503 Accounting and Auditing Enforcement Release AAER 3761 3761 Administrative Proceedings AP 3741 3757 Investment Advisers Act of 1940 IA 4359 4360 Investment Company Act of 1940 IC 32054 32063 Initial Decisions (ALJ) ID 987 991 Litigation Releases LR 23502 23509 SIPA SIPA 176 176 33-10061 http://www.sec.gov/litigation/admin/2016/33-10061.pdf 34-77490 3-17190 2016-03-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Navistar International Corporation N/A 34-77454 http://www.sec.gov/rules/sro/nasdaq/2016/34-77454.pdf SR-NASDAQ-2016-039 2016-03-28 Notice / Immediate Effectiveness to Modify the Maximum Number of Times an Order on Nasdaq may be Updated before the System Cancels the Order SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18911 81-FR-18911 34-77455 http://www.sec.gov/rules/sro/nysearca/2016/34-77455.pdf SR-NYSEARCA-2016-48 2016-03-28 Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-18900 81-FR-18900 34-77456 http://www.sec.gov/rules/sro/nasdaq/2016/34-77456.pdf SR-NASDAQ-2016-043 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18925 81-FR-18925 34-77457 http://www.sec.gov/rules/sro/bx/2016/34-77457.pdf SR-BX-2016-019 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-18913 81-FR-18913 34-77458 http://www.sec.gov/rules/sro/phlx/2016/34-77458.pdf SR-PHLX-2016-39 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 3317 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-18919 81-FR-18919 34-77459 http://www.sec.gov/litigation/admin/2016/34-77459.pdf 3-17182 2016-03-28 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Yoo, Linda N/A 34-77460 http://www.sec.gov/rules/sro/nasdaq/2016/34-77460.pdf SR-NASDAQ-2016-040 2016-03-28 Notice / Immediate Effectiveness to Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18902 81-FR-18902 34-77461 http://www.sec.gov/rules/sro/bx/2016/34-77461.pdf SR-BX-2016-018 2016-03-28 Notice / Immediate Effectiveness to Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-18907 81-FR-18907 34-77462 http://www.sec.gov/litigation/admin/2016/34-77462.pdf 3-17183 2016-03-28 Order of Suspension Order Maxwell, William, Esq. N/A 34-77463 http://www.sec.gov/rules/sro/nysearca/2016/34-77463.pdf SR-NYSEARCA-2015-107 2016-03-29 Order / to List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-19255 81-FR-19255 34-77464 http://www.sec.gov/rules/sro/bats/2016/34-77464.pdf SR-EDGX-2016-04 SR-BATS-2016-10 SR-BYX-2016-02 SR-EDGA-2016-01 2016-03-29 Order / to Amend and Restate the Certificate of Incorporation and Bylaws of the Exchanges' Ultimate Parent Company, BATS Global Markets, Inc. SRO Filing EDGX Exchange, Inc BATS Exchange, Inc BATS Y-Exchange, Inc EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19252 81-FR-19252 34-77465 http://www.sec.gov/rules/sro/finra/2016/34-77465.pdf SR-FINRA-2015-056 2016-03-29 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-19260 81-FR-19260 34-77466 http://www.sec.gov/litigation/admin/2016/34-77466.pdf IA-4359 IC-32059 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A 34-77467 http://www.sec.gov/litigation/admin/2016/34-77467.pdf 3-17185 2016-03-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rings to Dine For, Inc. N/A 34-77468 http://www.sec.gov/rules/sro/nyse/2016/34-77468.pdf SR-NYSE-2016-27 2016-03-29 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-19269 81-FR-19269 34-77469 http://www.sec.gov/rules/sro/chx/2016/34-77469.pdf SR-CHX-2016-03 2016-03-29 Notice / Immediate Effectiveness to Adopt Article 20, Rule 13 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19275 81-FR-19275 34-77470 http://www.sec.gov/litigation/opinions/2016/34-77470.pdf 3-16756 2016-03-29 Opinion Opinion Grivas, Stephen N/A 34-77471 http://www.sec.gov/litigation/admin/2016/34-77471.pdf 3-17032 2016-03-30 Notice That Initial Decision Has Become Final Notice Buncombe, Inc. Cotton Bay Holdings, Inc. Middlesex, Inc. N/A 34-77472 http://www.sec.gov/litigation/admin/2016/34-77472.pdf 3-16136 2016-03-30 Notice That Initial Decision Has Become Final Notice Sino Oil & Gas Pipe Holdings Ltd. N/A 34-77473 http://www.sec.gov/litigation/admin/2016/34-77473.pdf AAER-3761 IA-4360 IC-32060 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Burill Capital Management, LLC Burrill, G. Steven, CPA Hebert, Victor A., Esq. Sen, Helena C., CPA N/A 34-77474 http://www.sec.gov/rules/exorders/2016/34-77474.pdf TP 16-7 2016-03-30 Order / Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)92) and Rules 101(d) and 102(e) of Regulation M Order J.P. Morgan Exchange-Traded Fund Trust JPMorgan Diversified Return Europe Currency Hedged ETF JPMorgan Diversified Return International Currency Hedged ETF http://www.federalregister.gov/citation/81-FR-19695 81-FR-19695 34-77475 http://www.sec.gov/rules/sro/phlx/2016/34-77475.pdf SR-PHLX-2016-36 2016-03-30 Notice / Immediate Effectiveness Relating to Partnerships SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-19664 81-FR-19664 34-77476 http://www.sec.gov/rules/sro/bats/2016/34-77476.pdf SR-BATS-2016-17 2016-03-30 Order / to Amend BATS' Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19661 81-FR-19661 34-77477 http://www.sec.gov/rules/sro/nyse/2016/34-77477.pdf SR-NYSE-2016-17 2016-03-30 Notice / to Amend Rule 86 to Add Additional Order Types to the NYSE BondsSM Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Amend the Definition of Indicative Match Price in Current Rule 86(B)(2)(G) to Provide Greater SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-19671 81-FR-19671 34-77478 http://www.sec.gov/rules/sro/nysemkt/2016/34-77478.pdf SR-NYSEMKT-2016-40 2016-03-30 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-19665 81-FR-19665 34-77479 http://www.sec.gov/rules/sro/cboe/2016/34-77479.pdf SR-CBOE-2016-026 2016-03-30 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-19653 81-FR-19653 34-77480 http://www.sec.gov/rules/sro/bats/2016/34-77480.pdf SR-BATS-2016-03 2016-03-30 Order / to List and Trade Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19690 81-FR-19690 34-77481 http://www.sec.gov/rules/sro/nasdaq/2016/34-77481.pdf SR-NASDAQ-2016-013 2016-03-30 Notice / to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-19678 81-FR-19678 34-77482 http://www.sec.gov/litigation/admin/2016/34-77482.pdf 3-17187 2016-03-31 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Lenco Mobile, Inc. N/A 34-77483 http://www.sec.gov/rules/sro/nsx/2016/34-77483.pdf SR-NSX-2016-01 2016-03-31 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20040 81-FR-20040 34-77484 http://www.sec.gov/rules/sro/nysearca/2016/34-77484.pdf SR-NYSEARCA-2016-52 2016-03-31 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-20024 81-FR-20024 34-77485 http://www.sec.gov/litigation/admin/2016/34-77485.pdf 3-17027 2016-03-31 Order Making Findings and Imposing Remedial Sanctions AP Settled Zinn, Kevin I. N/A 34-77486 http://www.sec.gov/litigation/admin/2016/34-77486.pdf 3-17188 2016-03-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Neilsen, James E. N/A 34-77487 http://www.sec.gov/rules/sro/bats/2016/34-77487.pdf SR-BATS-2015-105 2016-03-31 Order / to List and Trade Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20016 81-FR-20016 34-77488 http://www.sec.gov/rules/sro/isegemini/2016/34-77488.pdf SR-ISEGEMINI-2016-03 2016-03-31 Notice / Related to Market Wide Risk Protection SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-20021 81-FR-20021 34-77489 http://www.sec.gov/rules/sro/ise/2016/34-77489.pdf SR-ISE-2016-08 2016-03-31 Notice / Related to Market Wide Risk Protection SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-20004 81-FR-20004 34-77490 http://www.sec.gov/litigation/admin/2016/33-10061.pdf 33-10061 3-17190 2016-03-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Navistar International Corporation N/A 34-77491 http://www.sec.gov/rules/sro/nyse/2016/34-77491.pdf SR-NYSE-2016-24 2016-03-31 Notice / Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures to Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-20030 81-FR-20030 34-77492 http://www.sec.gov/litigation/opinions/2016/34-77492.pdf 3-16360 2016-03-31 Opinion Opinion Harris, Talman Scholander, William N/A 34-77493 2016-03-31 INTENTIONALLY OMITTED 34-77494 2016-03-31 INTENTIONALLY OMITTED 34-77495 http://www.sec.gov/rules/sro/nasdaq/2016/34-77495.pdf SR-NASDAQ-2016-046 2016-04-01 Notice / Immediate Effectiveness to Amend Fees under Rules 7015(b) and (g) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-20426 81-FR-20426 34-77496 http://www.sec.gov/litigation/admin/2016/34-77496.pdf 3-17191 2016-03-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Clubhouse Videos, Inc. GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Mortgage Shakers, Inc. Newbridge Mortgage Corp. Newcourt Holdings, Inc. N/A 34-77497 http://www.sec.gov/litigation/admin/2016/34-77497.pdf 3-12114 2016-04-01 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice American Express Financial Corporation (now known as Ameriprise Financial, Inc.) N/A 34-77498 http://www.sec.gov/litigation/admin/2016/34-77498.pdf 3-12114 2016-04-01 Order Appointing Fund Administrator and Setting Administrator Bond Amount Order American Express Financial Corporation (now known as Ameriprise Financial, Inc.) N/A 34-77499 http://www.sec.gov/rules/sro/bats/2016/34-77499.pdf SR-BATS-2016-04 2016-04-01 Notice / Amendment No. 2 / Order Accelerating to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc http://www.federalregister.gov/citation/81-FR-20428 81-FR-20428 34-77500 http://www.sec.gov/litigation/opinions/2016/34-77500.pdf 3-17128 2016-04-01 Order Denying Stay and Scheduling Briefs Order Parris, Christopher A. N/A 34-77501 http://www.sec.gov/litigation/opinions/2016/34-77501.pdf 3-17189 2016-04-01 Order Directing the Filing of Briefs Order Citadel Securities LLC Ronin Capital, LLC Susquehanna Investment Group Susquehanna Securities N/A 34-77502 http://www.sec.gov/litigation/opinions/2016/34-77502.pdf 3-16913 2016-04-01 Opinion Opinion AutoChina International Limited N/A 34-77503 http://www.sec.gov/litigation/opinions/2016/34-77503.pdf 3-16948 2016-04-01 Opinion Opinion Jarkas, Rani T. N/A AAER-3761 http://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 IA-4360 IC-32060 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Burill Capital Management, LLC Burrill, G. Steven, CPA Hebert, Victor A., Esq. Sen, Helena C., CPA N/A AP-3741 http://www.sec.gov/alj/aljorders/2016/ap-3741.pdf 3-17180 2016-03-28 Order Scheduling Hearing and Designating Presiding Judge Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-3742 http://www.sec.gov/alj/aljorders/2016/ap-3742.pdf 3-17160 2016-03-28 Order Postponing Prehearing Conference Order Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A AP-3743 http://www.sec.gov/alj/aljorders/2016/ap-3743.pdf 3-17146 2016-03-28 Order Scheduling Second Prehearing Conference Order Rey, Janice D. N/A AP-3744 http://www.sec.gov/alj/aljorders/2016/ap-3744.pdf 3-17049 2016-03-29 Order Order RAHFCO Management Group, LLC N/A AP-3745 http://www.sec.gov/alj/aljorders/2016/ap-3745.pdf 3-16560 2016-03-29 Stay Order Order Quigley, William N/A AP-3746 http://www.sec.gov/alj/aljorders/2016/ap-3746.pdf 3-16978 2016-03-30 Order Denying Respondents' Motion for Summary Disposition Order Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A AP-3747 http://www.sec.gov/alj/aljorders/2016/ap-3747.pdf 3-17123 2016-03-30 Order to Show Cause Order Market Data Consultants, Inc. Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Mid-AM Systems, Inc. NU Energy Inc. N/A AP-3748 http://www.sec.gov/alj/aljorders/2016/ap-3748.pdf 3-17175 2016-03-30 Order Postponing Hearing and Scheduling Prehearing Conference Order Concertsbyu.com, Inc. Freedom Bancshares, Inc. Metamorphix Inc. N/A AP-3749 http://www.sec.gov/alj/aljorders/2016/ap-3749.pdf 3-17172 2016-03-30 Order Postponing Hearing and Scheduling Prehearing Conference Order Clare, Barry B. N/A AP-3750 http://www.sec.gov/alj/aljorders/2016/ap-3750.pdf 3-17133 2016-03-30 Order Setting Summary Disposition Schedule Order Bonamour, Inc. TexStar Oil Corporation N/A AP-3751 http://www.sec.gov/alj/aljorders/2016/ap-3751.pdf 3-17070 2016-03-31 Scheduling and General Prehearing Order Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-3752 http://www.sec.gov/alj/aljorders/2016/ap-3752.pdf 3-17126 2016-03-31 Scheduling Order Order Maiher, Jason N/A AP-3753 http://www.sec.gov/alj/aljorders/2016/ap-3753.pdf 3-17068 2016-03-31 Order Following Prehearing Conference Order Renaldi, Salvatore N/A AP-3754 http://www.sec.gov/alj/aljorders/2016/ap-3754.pdf 3-17185 2016-03-31 Order Scheduling Hearing and Designating Presiding Judge Order Rings to Dine For, Inc. N/A AP-3755 http://www.sec.gov/alj/aljorders/2016/ap-3755.pdf 3-17184 2016-03-31 Order Scheduling Hearing and Designating Presiding Judge Order Gibson, Christopher M. N/A AP-3756 http://www.sec.gov/alj/aljorders/2016/ap-3756.pdf 3-17157 2016-04-01 Order Postponing Hearing Granting Extension and Directing for a Declaration of Service Order Equitystar Capital Management, LLC Zoernack, Steven N/A AP-3757 http://www.sec.gov/alj/aljorders/2016/ap-3757.pdf 3-17191 2016-04-01 Order Scheduling Hearing and Designating Presiding Judge Order Clubhouse Videos, Inc. GLX.Com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc) Mortgage Shakers, Inc. Newbridge Mortgage Corp. Newcourt Holdings, Inc. N/A IA-4359 http://www.sec.gov/litigation/admin/2016/34-77466.pdf 34-77466 IC-32059 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A IA-4360 http://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 AAER-3761 IC-32060 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Burill Capital Management, LLC Burrill, G. Steven, CPA Hebert, Victor A., Esq. Sen, Helena C., CPA N/A IC-32054 http://www.sec.gov/rules/ic/2016/ic-32054.pdf 812-14591 2016-03-29 Order Order Amplify ETF Trust Amplify Investments LLC N/A IC-32055 http://www.sec.gov/rules/ic/2016/ic-32055.pdf 812-14535 2016-03-29 Order Order AAM ETF Trust Advisors Asset Management, Inc. N/A IC-32056 http://www.sec.gov/rules/ic/2016/ic-32056.pdf 812-14454 2016-03-29 Order Order Crescent Capital BDC, INC., et al. N/A IC-32057 http://www.sec.gov/rules/ic/2016/ic-32057.pdf 812-13754 2016-03-29 Order Order Apollo Investment Corporation, et al. N/A IC-32058 http://www.sec.gov/rules/ic/2016/ic-32058.pdf 813-00385 2016-03-29 Order Order Ares Management LLC N/A IC-32059 http://www.sec.gov/litigation/admin/2016/34-77466.pdf 34-77466 IA-4359 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A IC-32060 http://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 AAER-3761 IA-4360 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Burill Capital Management, LLC Burrill, G. Steven, CPA Hebert, Victor A., Esq. Sen, Helena C., CPA N/A IC-32061 http://www.sec.gov/rules/ic/2016/ic-32061.pdf 812-14482 2016-03-30 Notice Notice OHA Investment Corporation, et al. http://www.federalregister.gov/citation/81-FR-19656 81-FR-19656 IC-32062 http://www.sec.gov/rules/ic/2016/ic-32062.pdf 812-14511 2016-03-30 Notice Notice FactorShares Trust, et al. http://www.federalregister.gov/citation/81-FR-19681 81-FR-19681 IC-32063 http://www.sec.gov/rules/ic/2016/ic-32063.pdf 812-14537 2016-03-31 Notice Notice AAM ETF Trust Advisors Asset Management, Inc. http://www.federalregister.gov/citation/81-FR-20007 81-FR-20007 ID-987 http://www.sec.gov/alj/aljdec/2016/id987cff.pdf 3-16590 2016-03-29 Initial Decision Initial Decision Ourand, Brian J. N/A ID-988 http://www.sec.gov/alj/aljdec/2016/id988bpm.pdf 3-17122 2016-03-29 Initial Decision on Default Initial Decision Digiblue Media, Inc. Morgan Minerals Inc. New World Batteries Inc. North Pacific Geopower Corp. Northern Canadian Uranium Inc. 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Ha-Ngoc, Tuan Johnston, David Slichenmyer, William N/A LR-23504 http://www.sec.gov/litigation/litreleases/2016/lr23504.htm 1:16-CV-00587 2016-03-29 Enforcement Case NBT Group Inc. Smith, Tobin N/A LR-23505 http://www.sec.gov/litigation/litreleases/2016/lr23505.htm 16-CV-2249-KMW 2016-03-29 Enforcement Case Caspersen, Andrew W.W. Irving Place III SPV, LLC N/A LR-23506 http://www.sec.gov/litigation/litreleases/2016/lr23506.htm 3:16-CV-01636-MLC-DEA 2016-03-30 Enforcement Case Daniel Rivera Inc. Lane, Robbins Rivera & Associates (a/k/a Strategic Wealth Partners of New Jersey) Rivera, Daniel Rivera, Matthew N/A LR-23507 http://www.sec.gov/litigation/litreleases/2016/lr23507.htm 16-CV-3885 2016-03-31 Enforcement Case Navistar International Corp. Ustian, Daniel C. N/A LR-23508 http://www.sec.gov/litigation/litreleases/2016/lr23508.htm 16-10624-GAO 2016-03-31 Enforcement Case Ponn, Nathaniel D. N/A LR-23509 http://www.sec.gov/litigation/litreleases/2016/lr23509.htm 1:16-CV-00040-JNP 2016-03-31 Enforcement Case Clark, John Scott N/A SIPA-176 http://www.sec.gov/rules/other/2016/sipa-176.pdf SIPC-2016-01 2016-03-30 Order / Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Order Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-19250 81-FR-19250